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Stockbroker Discharged

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Rex Securities Law

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

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Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL

Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL 150 150 Rex Securities Law

Jorge Sonville Investigation September  2022-Miami, FL  According to publicly available records Jorge A. Sonville,  a currently unregistered broker who most recently worked with  Insigneo Services and before that, Merrill Lynch,  discloses a…

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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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Jeff LaBelle- Former First Allied Securities Broker- Discloses 10 Prior Customer Disputes and $1.4M in Pending Customer Disputes-, Sarasota, FL

Jeff LaBelle- Former First Allied Securities Broker- Discloses 10 Prior Customer Disputes and $1.4M in Pending Customer Disputes-, Sarasota, FL 150 150 ER

Jeff LaBelle Investigation August 2022- Sarasota, FL According to available records,  Jeffery (Jeff) Guy LaBelle , a currently unregistered broker who was previously registered  with First Allied Securities, Inc. discloses 13…

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Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL

Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL 150 150 ER

Marc Lowell Investigation September  2022- Ft. Lauderdale, FL The FINRA records of  Marc Layne Lowell,   a  stockbroker previously employed by  LPL Financial and who is currently employed with Alliance Global Partners…

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David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Rex Securities Law

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

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Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Rex Securities Law

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

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Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ

Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

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Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA

Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA 150 150 ER

Scott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records,  Scott K. Spruth,  a broker  who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…

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